FIF - Financial Information Forum

TRACE/Fixed Income Working Group

FIF has scheduled a call for the TRACE/Fixed Income Working Group for Thursday April 27 at 11 am ET. The Working Group will review a draft supplemental FIF comment letter to the MSRB on the MSRB’s rule proposal to require one-minute reporting for municipal bond trades. The Working Group also will discuss a scenario from an FIF member relating to reporting of the portfolio trade modifier and will review draft comments and questions from FIF members for FINRA on the TRACE API specifications, the TRACE New Issue Form, and the timing for reporting Treasury hedge transactions in connection with an offering.

POSTED Apr 24,2023

SEC Cyber, Reg SCI and Reg S-P Rule Proposals

FIF has scheduled a call for Thursday April 27 at 3 pm ET to continue the review and discussion of the SEC’s recent cybersecurity, Reg SCI and Reg S-P rule proposals. FIF has invited members of the following Working Groups to participate on this call: the Compliance and Surveillance Working Group; the Cybersecurity Working Group; and the newly-formed SEC Cyber, Reg SCI and Reg S-P Working Group. If you are interested in participating on this call and are not a member of any of these Working Groups, please update your FIF profile or contact fifinfo@fif.com.

POSTED Apr 24,2023

FIF Submits Response to SEC Order on OTC Routing Reports

On April 13, FIF submitted a response to the SEC’s March 3, 2023 “Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities).” FIF would like to thank the members of the FIF Rule 606 Working Group for their contributions in the drafting of this response letter.

POSTED Apr 17,2023

CAT Transaction Reporting: CAT Fee Collection Process

FIF has scheduled an additional call this week for the CAT Transaction Reporting Working Group to continue the discussion of the mechanics of the CAT fee collection process. This call is scheduled for Monday April 17 at 2 pm ET.

POSTED Apr 17,2023

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